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Results: 1-10 of 1,235

The Senior Managers and Certification Regimes - A new framework for personal accountability - employment aspects
  • Burges Salmon LLP
  • United Kingdom
  • April 26 2016

The Senior Managers and Certification Regimes are the cornerstones of the regulators' drive towards increased personal accountability in the


UK Regulator Publishes Policy Statement and Supervisory Statement on Board Responsibilities
  • Shearman & Sterling LLP
  • United Kingdom
  • April 8 2016

On March 31, 2016, the PRA published a Policy Statement and Supervisory Statement on board responsibilities. The Policy is relevant to all


What does the future look like for SME complainants?
  • Kennedys Law LLP
  • United Kingdom
  • March 17 2016

In November 2015, the Financial Conduct Authority (FCA) issued a discussion paper entitled 'Our approach to SMEs as users of financial services'. We


Extending the PRA’s powers over auditors and actuaries
  • RPC
  • United Kingdom
  • March 15 2016

Auditors and actuaries are used to being overseen by the Financial Reporting Council (FRC). In a 2015 Consultation Paper, the PRA signalled that it


Bracing for Brexit: countdown to impact.
  • Shoosmiths LLP
  • European Union, United Kingdom
  • March 10 2016

With increasing numbers campaigning for Britain to leave the EU, ever closer union is looking ever more uncertain. Opinion about the positive and


Beyond compliance: Financial services firms are working hard at changing culture
  • FTI Consulting Inc
  • United Kingdom
  • February 29 2016

The global economy has moved on from the crash of 2008 but the banking and broader financial services industries are still recovering from the shock


2015: The calm before another storm
  • Dentons
  • European Union, United Kingdom
  • February 23 2016

In last year's regulatory update, Emma Radmore looked at several key changes which had either already taken place in the UK, or were on the horizon


UK: Claiming under FSMA 2000 - when is a “private person” not a private person?
  • Holman Fenwick Willan LLP
  • United Kingdom
  • February 18 2016

In light of the recent PPI and other financial products mis- selling scandals, banks have been paying out billions of pounds in compensation to


The Senior Managers Regime Approaches: A Crammer's Guide to Implementation
  • Baker & McKenzie
  • United Kingdom
  • January 18 2016

The New Year heralds the introduction of the Senior Managers Regime ("SMR") for banks, building societies and large investment firms. The SMR


FCA’s Senior Managers Rules and Whistleblowing
  • Corker Binning
  • United Kingdom
  • December 10 2015

Following recommendations in 2013 by the Parliamentary Commission on Banking Standards (PCBS), and in an attempt to strengthen internal procedures